FORM MA-W
Notice of Withdrawal from Registration as a Municipal Advisor
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
OMB APPROVAL
OMB Number: 3235-0681
Estimated average burden hours per response: 0.5
Please refer to the General Instructions for forms in the MA series
before completing this form. All italicized terms herein are defined
or described in the Glossary of Terms appended to the General Instructions.
A municipal advisor must complete this Form MA-W to
withdraw its municipal advisor registration with the SEC.
WARNING:
Complete this form truthfully. False statements or omissions may
result in administrative or civil action or criminal
prosecution.
Filer Information
Filer CIK:
Filer CCC:
File Number:
Contact Information
Charles Richter
Name:
402-602-6921
Phone:
crichter@fnni.com
Email Address:
Notification Information
Notification will automatically be sent to the Login CIK, Submission Contact, and Primary Issuers. Specify additional addresses below.
Notification Email Address:
Item 1 Identifying Information
A.
Full Legal Name: The name entered here must be the same as the name entered on
the registrant's most recent Form MA. Do not report a
name change on this Form MA-W.
FIRST NATIONAL CAPITAL MARKETS, INC.
B.
SEC File Number
Item 2 Contact Person (for Municipal Advisory Firms)
- The registrant's contact person must be a principal or employee (not outside counsel) of the municipal advisor authorized to receive information and respond to questions about this Form MA-W.
- Name, title, and contact information:
Richter
Charles
Henry
Last Name:
First Name:
Middle Name:
Chief Compliance Officer
Title
1620 Dodge Street
28 Floor MS 3284
Street Address 1:
Street Address 2:
Omaha
NEBRASKA
68197
City:
State/Country:
Postal Code:
402-602-6921
crichter@fnni.com
Telephone Number:
Email Address:
Item 3 Money Owed to Clients
Has the registrant:
A.
Received any pre-paid municipal advisory fees for
municipal advisory activities, including pre-paid services and
subscription fees for publications, that have not been delivered?
Yes
No
If "Yes," what is the amount owed for these pre-paid services
(including subscriptions)?
$
B.
Borrowed any money from
clients
that has not been repaid?
Yes
No
If "Yes," what is the amount owed for these borrowed funds?
$
Item 4 Advisory Contract Assignments
Has the registrant assigned any contracts to another person
that engages in municipal advisory activities?
Yes
No
If "Yes", list on Section 4 of Schedule W1 each person to whom
the registrant has assigned any such municipal advisory contracts
and provide the requested information.
Item 5 Judgments and Liens
Are there any unsatisfied judgments or liens against the
registrant?
Yes
No
Item 6 Books and Records
NOTE: Rule 15Ba1-8 under the Exchange Act requires a municipal advisor to preserve its books and records after the municipal advisor ceases to conduct or discontinues business as a municipal advisor.
Provide in Schedule W1 the name and address of each person who has or will have custody or possession of the municipal advisor's books and records and each location at which any of such books and records are or will be kept.
Item 7 Statement of Financial Condition
If registrant answered "Yes" to Item 3A, Item 3B, or Item 5, complete Schedule W2, disclosing the nature and amount of the registrant's assets and liabilities and net worth as of the last day of the month prior to the filing of this Form MA-W.
Execution
For a Sole Proprietor:
I, the undersigned, certify, under penalty of perjury under the laws of the United States of America, that the information and statements made in this Form MA-W, including exhibits and any other information submitted, are true. I further certify that the books and records of my municipal advisor-related business will be preserved and available for inspection as required by law, and that all information submitted on my most recent Form MA and Form MA-I is accurate and complete as of this date. I understand that if any information contained in this Form MA-W is different from the information contained on my Form MA and Form MA-I, the information on this Form MA-W will replace the corresponding entry on my Form MA and Form MA-I. Finally, I authorize any person having custody or possession of these books and records to make them available to authorized regulatory representatives.
Signature:
Date:
Printed Name:
Title:
For a Municipal Advisory Firm:
I, the undersigned, have signed this Form MA-W on behalf of, and with the authority of, the municipal advisor withdrawing its registration. The advisor and I both certify, under penalty of perjury under the laws of the United States of America, that the information and statements made in this Form MA-W, including exhibits and any other information submitted, are true. I further certify that the municipal advisor’s books and records will be preserved and available for inspection as required by law, and that all information submitted on the municipal advisor ’s most recent Form MA is accurate and complete as of this date. The municipal advisor and I understand that if any information contained in this Form MA-W is different from the information contained on Form MA, the information on this Form MA-W will replace the corresponding entry on the municipal advisor ’s Form MA. Finally, I authorize any person having custodyor possession of these books and records to make them available to authorized regulatory representatives.
Charles Richter
12-22-2023
Signature:
Date:
Charles Richter
Chief Compliance Officer
Printed Name:
Title:
FORM MA-W: Schedule W1
Certain items in Form MA-W may require additional information on this Schedule W1. Use this Schedule W1 to report details for items listed below. Report only new information or changes/updates to previously submitted information. Do not repeat previously submitted information.
SECTION 4: Advisory Contract Assignments
Check here if this section is being completed:
Complete the following information for each person to whom the registrant has assigned any advisory contract to provide municipal advisor-related services. Complete a separate Schedule W1 for each person to whom the registrant has assigned such a contract.
- 1. Name and business address of the person to whom such contracts were assigned:
Northland Securities, Inc.
Full Name:
150 South Fifth
Suite 3300
Street Address 1:
Street Address 2:
Minneapolis
MINNESOTA
55402
City:
State/Country:
Postal Code:
8008512920
Telephone Number:
- Is this address a private residence?
SECTION 6 Books and Records
Complete the following information for each person that has or will have custody or possession of any of the registrant's books and records. A separate Schedule W1 must be completed for each person . If the same person has or will have custody of any such books and records at more than one location, a separate Schedule W1 must be completed for this person for each such location.
Person with Custody:
- Name and business address of the person with custody or possession of books and records:
Stephen C. Wade
Name:
1620 Dodge Street
28th Floor MS 3824
Street Address 1:
Street Address 2:
Omaha
NEBRASKA
68197
City:
State/Country:
Postal Code:
4026023336
Telephone Number:
Is this address a private residence?
Yes
No
Location of Books and Records:
First National Tower, 28th Floor
Name of Location, if any:
1620 Dodge Street
28th Floor MS 3284
Street Address 1:
Street Address 2:
Omaha
NEBRASKA
68197
City:
State/Country:
Postal Code:
4026023336
Telephone Number:
Is this address a private residence?
Yes
No
Briefly describe the books and records kept at
this location.
All required books and records of Municipal Advisor